There are options for customers of former LPL Financial LLC broker Doran James (CRD# 1764628). He has been registered with J.W. Cole Financial, Inc. in Springs, Wyoming, since 2023. He was registered with LPL Financial LLC in Rock Springs, Wyoming, from 2011 to 2023.
Doran James Customer Complaints
He has been the subject of three customer complaints in 2024, according to his CRD report:
December 2024. “Claimants allege their financial professional could not sell their structured notes prior to maturity which caused them alleged damages. Time period: December 2022 – January 2023.” The customer is seeking $124,947 in damages, and the case is currently pending. The complaint was regarding structured note losses. The complaint took place while he was registered with LPL Financial LLC.
October 2024. “Claimants allege their financial professional could not sell their structured notes prior to maturity which caused them alleged damages. Time period: December 2022 – January 2023.” The customer is seeking $219,735 in damages, and the case is currently pending. The complaint was regarding structured note losses. The complaint took place while he was registered with LPL Financial LLC.
February 2024. “Claimants allege their financial professional could not sell their structured notes prior to maturity which caused them alleged damages. Time period: December 2022 – January 2023.” The customer is seeking $124,947 in damages, and the case is currently pending. The complaint was regarding structured note losses. The complaint took place while he was registered with LPL Financial LLC.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, LPL Financial LLC may be liable for investment or other losses suffered by Doran James’ customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses involving structured notes, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
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